William C. Martindale
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
William Conaway Martindale JR, who also goes by Bill Martindale, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1970. William had worked at 3 firms and has passed the Series 65, Series 63, Series 2, Series 15, Series 5, PC, Series 1, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 24, 2001 - August 6, 2014
CONESTOGA CAPITAL ADVISORS, LLC
January 2, 1970 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
January 2, 1970 - August 26, 1989
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
CONESTOGA CAPITAL ADVISORS, LLC
CRD#: 111750 / SEC#: 801-60133
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 2
Date: 10/6/1993
Non-Member General Securities ExaminationSeries 15
Date: 3/5/1985
Foreign Currency Options ExaminationSeries 5
Date: 12/15/1982
Interest Rate Options ExaminationPC
Date: 2/6/1979
AMEX Put and Call ExamSeries 1
Date: 12/19/1969
Registered Representative ExaminationCurrent Firm
CONESTOGA CAPITAL ADVISORS, LLC
CRD#: 111750 / SEC#: 801-60133
Contact information
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 247 |
| AUM (Assets Under Management) | $ 8,756,199,619 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
